View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0471	ICR Reference No: 201709-3235-004
Status: Historical Active	Previous ICR Reference No: 201409-3235-025
Agency/Subagency: SEC	Agency Tracking No: TM 270-422
Title: Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/03/2018
	Date Received in OIRA: 02/23/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2021	36 Months From Approved	04/30/2018
Responses	197	0	223
Time Burden (Hours)	1,970	0	2,230
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	197	223	-26
Annual Time Burden (Hours)	1,970	2,230	-260
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated burden of collecting information pursuant to Rule 15c1-5 has decreased slightly because of a reduction in the number of broker-dealers affected by the rule.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Jane Wetterau 202 551-4483

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